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Federal Grants and Cooperative Agreement Act of 1977

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Federal Grants and Cooperative Agreement Act of 1977

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ASU Research and Sponsored Projects Manual

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ASU Research and Sponsored Projects Manual

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To define consultants, guest lecturers, and other professionals on sponsored projects

48 Code of Federal Regulations §§ 1.000 to end (1986)

Office for Research and Sponsored Projects Administration (ORSPA)

Financial Services

Office of Human Resources

Purchasing and Business Services

Consultants are independent contractors that provide professional services to the university. University employees are ineligible to be consultants on sponsored projects.

Some federal sponsors require specific prior approval for each consultant. The allowable charge for consultants on grants or contracts may be limited by the federal maximum daily rate. Under some conditions, a bidding process may be required before a consultant may be authorized to begin work.

The principal investigator (PI) must provide documentation of consultant costs and compliance with federal, sponsor, and university regulations.

ACD 510-04, "Intra-Institution of Higher Education (IHE) Consulting," and federal regulations provide that intra-IHE consulting is expected and, as such, extra compensation may be granted only in "unusual cases."

Authorized Contracts

Formal written consultant contracts must be signed by an Arizona Board of Regents authorized official. The director of Purchasing and Business Services is one of a limited number of officials at the university authorized by the board to enter into contracts and is the recommended signatory on all professional services contracts (see the Purchasing and Business Services Policies and Procedures Manual- PUR 202-01, "Contract Signature Authority").

Payment of Consultants

Payment of consultants on sponsored projects must be in compliance with university policy and procedures as outlined in the Financial Services Policies and Procedures Manual (FIN)- FIN 421-01, "Guest Lecturers, Consultants, and Other Independent Contractors."

For authoritative references, see RSP 101, "General Research Policy."

For other university policies that govern the use of consultants, see:

1. the Financial Services Policies and Procedures Manual-FIN 421-01, "Guest Lecturers, Consultants, and Other Independent Contractors"

2. the Staff Personnel Policies and Procedures Manual:

1. SPP 210, "Consultants/Independent Contractors."

2. SPP 404-02, "Supplemental Pay"

3. the Academic Affairs Policies and Procedures Manual:

1. ACD 510-01, "Notification of Consulting or Other Outside Business Activities or Arrangements for Faculty and Academic Professionals"

2. ACD 510-04, "Intra-Institution of Higher Education (IHE) Consulting."

For university policies that govern bidding and contracts, see the Purchasing and Business Services Policies and Procedures Manual:

1. PUR 202-01, "Contract Signature Authority"

2. PUR 306-01, "Bidding Requirements for Procurements Costing $100,000 or More"
and

3. PUR 306-02, "Waiver of Bidding Requirements for Procurements Costing $100,000 or More."

For university policies that govern personnel on sponsored projects, please see RSP 502-01, "Personnel Employed on Sponsored Projects."

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RSP manual | ASU policies and procedures manuals | Index of Policies by Title | RSP manual contact | ORSPA Web site

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To define consultants, guest lecturers, and other professionals on sponsored projects 48 Code of Federal Regulations §§ 1.000 to end (1986) Office for Research and Sponsored Projects Administration (ORSPA) Financial Services Office of Human Resources Purchasing and Business Services Consultants are independent contractors that provide professional services to the university.

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Activity Distribution Report (ADR) See Effort Report (ER). ADR's were used to document effort prior to the 2007 establishment of the current Effort Reporting System within PeopleSoft.

Advantage The legacy centralized information system that processed purchasing / financial documents, provided financial status updates and used to produce monthly accounting reports. Advantage was maintained by the ASU Financial Services, which reports to the Office of the Executive Vice President, Treasurer and Chief Financial Officer and was replaced by the University's new financial system, Workday, effective July 1st, 2018.

After the Fact If a proposal was submitted to a sponsor without using the internal routing process, then the subsequent routing of internal forms for approval is considered "after the fact."

Agency/Org Short for Agency/Organization. Also known as an account number, this code uniquely identifies each award within the university financial system.

Allocable Cost A cost that is chargeable or assignable to a cost objective on the basis of relative benefits received or other equitable relationship.

Allowable Costs Determined by the Office of Management and Budget (OMB), the sponsor's requirements and/or university policy. Uniform Guidance (2 CFR 200) defines allowable costs as those that are: 1. Reasonable; 2. Allocable to the project; 3. Given consistent treatment by use of generally accepted accounting principles; 4. Conform to any limitations or exclusions set forth by the sponsored agreement or Uniform Guidance.

Amendment See Modification.

Application Fees Fees or charges required by a sponsor in order to submit a proposal or application or funding.

Arizona Board of Regents (ABOR) The governing body of Arizona's public university system, providing policy guidance to Arizona State University, Northern Arizona University, the University of Arizona and their branch campuses.

Arizona State University Foundation (ASUF) The applicant for charitable grants and the receiver of unrestricted gifts to ASU.

Assurances See Certifications.

Audit Generally a verification of compliance. Audits can be programmatic or financial and involve different types of testing and assessments, depending upon the audit purpose, source of funding and auditor affiliation.

Award Funds provided from an external sponsor for support of a project at ASU. This term is used for both original award and supplements; it can mean monies or equipment.

Award Management Team (AMT) The Award Management Team (AMT) is part of Research Operations and provides oversight and interpretation of agency and other federal regulations for determining if adequate systems are in place for proper charging, documentation, reporting and reimbursement of expenditures to sponsored accounts.

Background Intellectual Property IP that was conceived, created, or developed prior to, or independent of, any research performed pursuant to the Agreement and necessary for or used in the performance of the project.

Basis Limit Workday term which refers to the ceiling on the amount of direct costs to which F&A may be applied.

Broad Agency Announcement An announcement that is general in nature and that identifies areas of research interest, including criteria for selecting proposals, and soliciting the participation of all offerers capable of satisfying the government's needs.

Budget A detailed statement outlining estimated projects costs to support the sponsored project.

Budget Category A portion of the budget designated for certain kinds of expenditures. A budget must be directly related to the research project. Reviewers will look for a reasonable budget based on the needs of the sponsored project. Typical budget categories include: Personnel Costs (Salaries, Fringe Benefits), Travel, Equipment, Subcontractors, etc).

Certifications Requirements from external entities where anyone that wishes to apply for awards must complete. Requires entities to represent/certify to a a variety of statements ranging from environmental rules to entity size representation.

Charitable Grant As determined by the Internal Revenue Code, charitable organizations are tax-exempt; categorized as a 501(c)(3); and gifts/grants are provided to support activities for religious, charitable, scientific, literary, or educational purposes.

For ASU purposes, in order for a charitable grant proposal to be submitted by the ASU Foundation as the applicant and for the award to be administered by Research Operations, on behalf of Arizona State University, at least one of the following criteria must be met:

1. Specific Statement of Work

2. Budget

3. Specific PI or PD named

Classified Information Per The Federal Acquisition Regulations System (FAR), means any knowledge that can be communicated or any documentary material, regardless of its physical form or characteristics, that:

1. (i) Is owned by, is produced by or for, or is under the control of the United States Government; or (ii) Has been classified by the Department of Energy as privately generated restricted data following the procedures in 10 CFR 1045.21; and

2. Must be protected against unauthorized disclosure according to Executive Order 12958, Classified National Security Information, April 17, 1995, or classified in accordance with the Atomic Energy Act of 1954.

Classified Material Management Group (MG) Responsible for the negotiation, execution, and administration of user agency contracts involving classified material; each member of the Classified Material Management Group shall have an appropriate security clearance. MG shall be designated to review classified materials on behalf of Arizona Board of Regents (ABOR).

Clinical Research Investigation or experiment that involves research with one or more human subject (or on material of human origin such as tissues or specimens) that is patient oriented. Not all research meeting this definition meets the criterial for a clinical trial.

Clinical Trial A prospective, biomedical or behavioral research study of human subjects that is designed to answer specific questions about biomedical or behavioral interventions (drugs, biologics, treatments, devices, or new ways of using known drugs, biologics, treatments, or devices). Behavioral interventions are intended to prevent or treat an acute or chronic disease or condition. Clinical trial research involves the evaluating effects of an intervention on biomedical or behavioral human health related to outcomes. This definition is not intended to be inclusive of all clinical research activity.

Coeus An information system that allows users to perform many aspects of the research administration process. Coeus is used to track all proposal, award, sponsor, and recognition information.

Cognizant Audit Agency The Federal agency designated with responsibility for performing audit-related activities on behalf of the federal government for federally-funded activity at the University. The cognizant audit agency for ASU is the Department of Health and Human Services (DHHS).

Collaboration A collaboration exists when key personnel from different institutions have substantive involvement in the development and performance of the scientific aspects of a project and the sponsor chooses to make only one award, thereby requiring the lead institution to issue subawards to the other collaborating institutions.

Collaborators Individuals, external to ASU, whose expertise is required by the Principal Investigator to perform the sponsored project scope of work.

Collaborator Roles

Consultant: Collaboration provided by independent contractors that provides professional services to the university as paid contributors.

External Investigator: Collaboration provided by researchers from other organizations that provides expertise as unpaid contributors.

Subrecipient: Collaboration provided by individuals of a legal entity to which a subaward is made and which is accountable to ASU for the use of the funds provided.

Partner: Collaboration provided by others external to ASU through a formal partnership agreement that splits the shared responsibility of the project and cooperative effort with ASU.

Joint Appointment with ASU: Collaboration provided through an appointment based on a formal Memorandum of Understanding that is agreed to between an external organization and one of their employees and ASU to establish a dual appointment of that individual as an ASU adjunct faculty member.

Other: Collaboration provided through means not defined above.

Commingling The act of mixing funds belonging to one party with those of another party, especially when a fiduciary has responsibility to keep the funds separated.

Complainant The person who submits a written allegation of misconduct to the senior vice president for the Knowledge Enterprise (KE).

Companion Account Advantage uses specific agency/orgs referred to as companion accounts to account for university funded direct cost project expenditures. The exclusive use of companion accounts for these expenditures permits the University to meet federal accounting requirements regarding sponsored project accounting.

Confidentiality Clause A specific clause in a contract that provides for protection of confidential proprietary information as allowed by Arizona Revised Statutes § 15-1640.

Conflict of Interest (Disclosure of Financial Interest) Certification See Certifications.

Consideration Consideration is anything of value that changes hands between the two parties of contract. Although we usually think of consideration as an exchange of money and goods (or services), consideration may take other forms as well. For example, the waiver of a legal right has been found to be adequate consideration.

Consortium A consortium is defined as any project that will have multiple members that have come together to jointly fund research projects through pooled membership fees.

Consultant An individual or business whose expertise is required to perform the project. Services are temporary, special, or highly technical. A consultant may not serve as senior personnel (e.g., Co-Investigator, Principal Investigator).

Continuation Proposal/Renewal Proposal Additional funding increments for projects beyond the original grant period. See specific sponsor guidelines for submission requirements.

Contract A mechanism for the procurement of a product or service with specific obligations for both sponsor and recipient. Typically, the sponsor specifies a research topic and the methods for conducting the research in detail, although some sponsors award contracts in response to unsolicited proposals.

Contractor One who enters into a binding agreement to perform a certain service or provide a certain product in exchange for money, goods, or services.

Contractor Purchasing Systems Review (CPSR) A complete and in-depth review and evaluation by the U.S. government of ASU's purchasing system. This evaluation includes the Purchasing Department's system and ORSPA's system established for procurements issued under sponsored projects.

Contributed Effort Effort expended on a sponsored project that is not paid for by the sponsor; a form of cost sharing.

Cooperative Agreement A form of Federal Assistance. This mechanism is used by federal agencies when a program requires more agency involvement and restrictions than a grant but requires less agency supervision than a contract.

Cost Reimbursement (CR) A contract or grant whereby the sponsor agrees to reimburse ASU based on actual project expenditures incurred during the performance period, up to an agreed amount.

Cooperative Research and Development Agreement (CRADA): A CRADA provides an opportunity for governmental investigators to join with their colleagues from industry and academia in the joint pursuit of common research goals. The purpose of a CRADA is to make government facilities, intellectual property, and expertise available for collaborative interactions to further the development of scientific and technological knowledge into useful, marketable products.

Danger Pay An allowance for ASU employees who work temporarily in a foreign area designated as a danger pay post by the US Department of State. Danger Pay is based on the employee's institutional base salary stated in PeopleSoft and the Department of State Allowance Rat ( https://aoprals.state.gov/Web920/danger_pay_all.asp). This allowance is calcualted using US Department of Labor standards (eight hour work day, five day work week). ASU follows Federal agencies' policies that maximize the danger pay allowance to a 40-hour work week. Eligible days are weekdays (Monday - Friday, including university observed holidays) on which the ASU traveler spends 4 hours or more in a Danger Pay location.

Travel time to and from the Danger Pay location does not qualify for Danger Pay. Danger Pay begins when the employee's plane initially lands in the danger pay location.

Debarment and Suspension Certification See Certifications.

Deemed Export A release of technology and/or software subject to export control regulations to a foreign national inside the United States. A deemed export is considered an export to the home country of the foreign national.

Define Opportunity (DO) The process which describes the search for opportunities, institutional and PI eligibility criteria and the requirement for seeking approval where submissions are limited by the sponsor.

Delinquent Federal Debt Certification See Certifications.

Deliverable A quantifiable good or service that will be provided as a result of a project. Examples include, but are not limited to, technical reports, software, devices.

Develop Proposal (DP) The process of completing a proposal which adheres to sponsor specifications, complying with ASU requirements, including obtaining campus approvals and forwarding the final proposal to PNT for review and submission.

Direct Costs Direct costs charged to sponsored agreements must be allowable, allocable, and reasonable. Those costs that can be identified specifically with a particular sponsored project, an instructional activity, or any other institutional activity, or that can be directly assigned to such activities relatively easily with a high degree of accuracy. Examples:

1. compensation of employees for performance of work under the sponsored agreement, including related fringe benefit cost;

2. the costs of materials consumed or expended in the performance of the work;

3. other items of expense incurred for the sponsored agreement, provided such costs are consistently treated in like circumstances.

Donated Property Property provided by an outside party for specific activities related to sponsored project and/or research activities of the university; title to the property passes to the university at essentially no cost.

Drug-Free Workplace Certification A certification where ASU is asked to certify that they will provide a drug-free workplace by notifying employees that unlawful drug use is prohibited and specifying what actions will be taken against employees for violations. Establish an on-going drug-free awareness program that includes employee notification and, as appropriate, rehabilitation. Comply with agency-specific regulations as applicable.

Effort The amount of time, usually expressed as a percentage of total effort, that an ASU employee spends on activities. Effort on sponsored projects is certified and documented through the Effort Reporting System in PeopleSoft. For the purpose of the Effort Reporting system, effort is all the work performed for compensation by the university. It does not include work done for supplemental pay. The total effort is always equal to 100 percent even if the employee is part-time or worked only part of the reporting period. If the employee is salaries and works more than 40 hours per week, total effort is still 100%.

Effort Report (ER) Effort reporting and certification form required for compliance with federal regulation.

Employee Related Expenses (ERE) Employee related expenses (ERE), also known as fringe benefits, is a normal and required direct cost category for most educational institutions. These costs need to be estimated for all employees proposed to work on a project. (Do not be confused by some agency budget forms that call ERE/fringe benefits "overhead.") ERE comprises the ASU or employer-paid portion of FICA; health, dental, and life insurance; unemployment and worker's compensation; and retirement costs. ERE represents costs paid by ASU (not the employee).

Enterprise Research Administration (ERA) An integrated system that ASU uses to develop proposals, ensure research integrity and assurance as well as the negotiation and management of awards.

Equipment Generally, articles of non-expendable tangible personal property having a useful life and an acquisition cost which meet or exceed the established thresholds for defining equipment. Equipment is not a replacement part or component returning a piece of equipment to its original condition. If a component increases the capability of the original equipment and has an acquisition cost that meets or exceeds the established equipment cost thresholds, it is considered a capital item.

Expanded Authorities Policy implemented by some federal granting agencies which delegates certain prior approval authorities to grantee institutions. This delegation allows for internal university approval of administrative and spending actions, thus avoiding delays in project progress.

Export The (1) actual shipment or transmission of any goods or items subject to export control regulations out of the United States; and (2) release of any covered technology, software (including source code), or technical data to any foreign national whether in the U.S. or abroad.

Export Administration Regulations (EAR) The EAR, codified at 22 CFR Parts 730-774, govern the export of items or technologies that are commercial or "dual use" in nature (i.e., they have both military and commercial applications) and are identified on the Commerce Control List (CCL). The EAR are administered by the U.S. Department of Commerce, Bureau of Industry and Security, which is responsible for licensing exports of items on the CCL.

Export Controls Governs the shipment, transmission, or transfer of certain sensitive items, information, or software to foreign persons or entities. Where applicable, authorization from the U.S. government in the form of an export license may be required. The sources of export control regulations include: the U.S. Department of Commerce (Export Administration Regulations or EAR); the U.S. Department of State (International Traffic in Arms Regulations or ITAR); and the U. S. Department of the Treasury (Office of Foreign Assets Control or OFAC).

Extramural Support Funding for research, training or public service programs provided by federal or private sources external to the university.

Fabrication Equipment that is constructed by combining or assembling modular components and/or materials into one identifiable unit. Procurement of the components and/or materials may preclude open competition and will require the cooperation of the project director, Research Operations, and Purchasing.

Facilities and Administrative (F&A) Costs Overhead, administrative allowance, or occasionally, institutional allowance - these are costs incurred in support of sponsored programs, in general, but not identifiable with any single project. F&A costs are real, auditable costs incurred by the university each time it accepts an award for a sponsored project. Including requests for facilities and administrative costs (F&A) allows ASU to recover some of its real costs. If the university does not collect full reimbursement for these costs, other university resources must be used to subsidize them. For additional information, see the Facilities and Administrative Costs Sitelet.

Facilities and Administrative (F&A) Cost Rates The rates used to recover the facilities & administrative costs of a sponsored project. Negotiated, approved rates are to be used for all agreements with the federal government and for most non-federal projects, as allowable. Information on current facilities and administrative cost rates is available from the Office for Research and Sponsored Projects Administration (ORSPA).

Facility Security Officer The position designated by the Arizona Board of Regents responsible for the oversight and handling of classified materials and obtaining, maintaining, and adequately controlling security clearances held by the university. The director of the Office of Research Integrity and Assurance (ORIA) currently serves in this capacity.

Faculty Member An employee of the board in teaching, research, or service whose notice of appointment is as lecturer, senior lecturer, instructor, assistant professor, associate professor, professor, or Regents Professor, or whose notice of appointment otherwise expressly designates a faculty position. Graduate students who serve as assistants, associates, or otherwise are academic appointees as well as graduate students but are not faculty members.

Faculty Positions All ranks of professors; visiting, clinical, and adjunct faculty; lecturers; and faculty associates.

Federal Acquisition Regulations (FAR) The Federal Acquisition Regulations System is established for the codification and publication of uniform policies and procedures for acquisition by all executive agencies. It consists of rules and regulations governing business with Federal Government. These regulations govern all aspects of federal procurement.

Federal Identifier Number When a grant is awarded by a federal agency, it is assigned a unique federal award identifier number specific to that grant. This identifier is required in order to apply for a supplemental, competing continuation or noncompeting continuation application.

Federal-Wide Assurance A contract with the federal government stipulating responsibilities of institutional officials, Office of Human Research Administration, the Institutional Review Board, and principal investigators for the conduct of research involving human subjects.

Fixed-Price Agreement/Award In a "fixed price" award, the principal investigator/ASU agrees to accomplish project objectives within a specific timeframe for a set dollar amount. If the deliverables are not completed within the award period, the PI must continue the project until the deliverables are met. Although this may result in an extension of the project period of performance, an amendment to the agreement is not necessary. The award amount also remains constant, even if actual costs for the project are above or below the amount received from the sponsor.

Fixed-Price Contract An award whereby payment is for a set lump sum payment upon satisfactory performance of the terms of the agreement.

Fixed-Price Residual The amount of payments exceeding final expenses on a fixed-price sponsored project. The institution retains these funds upon successful completion of the project.

Foreign National A "foreign national" is anyone who is not a U.S. citizen, a lawful permanent resident of the U.S. (i.e., a "green card" holder) or a "protected individual" as defined in 8 U.S.C. §1324b(a)(3) (e.g., refugees or persons seeking asylum in the U.S.). A foreign national also means any foreign corporation, business association, partnership, or any other entity or group that is not incorporated or organized in the U.S., including international organizations, foreign governments and agencies, and subdivisions of foreign governments. Where a foreign national is a citizen of more than one foreign country, or has citizenship in one foreign country and permanent residence in another, the general rule is that the last permanent resident status or citizenship obtained governs.

Foreign Travel Travel outside of the United States (i.e., the 50 states, the District of Columbia, and U.S. territories and possessions). A trip is considered foreign travel for all legs of the itinerary if the traveler does not return to his or her post prior to departure for a foreign destination.

Freedom of Information Act (FOIA) Enacted in 1966, the Freedom of Information Act (FOIA) is a federal law that established the public's right to obtain information from federal government agencies. The FOIA is codified at 5 United States Code §552. "Any person" can file a FOIA request, including U.S. citizens, foreign nationals, organizations, associations, and universities. In 1974, after the Watergate scandal, the Act was amended to force greater agency compliance. It was also amended in 1996 to allow for greater access to electronic information.

Fringe Benefits See Employee Related Expenses

Full and Open Competition The solicitation of bids from prospective suppliers which is used to assure that all responsible bidders are permitted to compete for the procurement.

Fully Burdened F&A Rate ASU's proposed federal F&A rate without the 26 percent administrative cap imposed by federal requirements and final rate negotiations. In addition, this rate includes actual costs for the president's office, general counsel, cost overruns, etc.

Fundamental Research Basic or applied research in science and engineering performed or conducted at an accredited institution of higher learning in the United States where the resulting information is ordinarily published and shared broadly in the scientific community. Fundamental research is distinguished from research that results in information that is restricted for proprietary reasons or national security reasons (EAR) or pursuant to specific U.S. government access and dissemination controls (ITAR).

University research will not be deemed to qualify as fundamental research if:

the university or its researchers accept any restrictions on publication of the scientific and technical information resulting from the project or activity, other than limited prepublication reviews by research sponsors to prevent inadvertent disclosure of proprietary information provided to the researcher by the sponsor or to insure that publication will not compromise patent rights of the sponsor

or

the research is funded by the U.S. government and specific access and dissemination controls protecting information resulting from the research have been accepted by the university or the researcher. [The citation for the official definition of fundamental research under the EAR is 15 CFR §734.8; the ITAR citation is 22 CFR §120.11(8).]

Funding Opportunity Announcement (FOA) Describes a program and available funds as well as requirements for proposal preparation and submission.

Funding Proposal (FP) An ERA proposal record. All ASU sponsored projects are initially entered in the system as an ERA Funding Proposal (FP). Internal forms, departmental reviews and approvals, and (in some cases) submission to funding sponsors takes place in the Proposals module of ERA Grants.

General Purpose Equipment Equipment that is not limited to research, scientific, or other technical activities. Examples of general purpose equipment include office equipment and furnishing, air conditioning equipment, reproduction and printing equipment, motor vehicles, and automatic data processing equipment.

Gift A unilateral transfer of money, property, or other assets from a donor to the recipient for the recipient's ownership and use, without restrictions on the recipient in connection with the gift. Unrestrictive gifts and grants normally have the following characteristics:

1. the Statement of Work allows the principal investigator significant freedom to manage the project and determine how the assets will be utilized

2. the award does not require deliverables or detailed technical reports

3. the award does not require separate accounting procedures or detailed financial reports

4. the award does not include provisions for audit by or on behalf of the sponsor

5. the award does not require regulatory oversight in areas such as animal care, human subjects, biosafety, or financial conflict of interest and

6. the award does not utilize background intellectual property nor stipulate the ownership rights for foreground intellectual property.

Charitable gifts that are unrestricted or in support of a general purpose (versus a project with a scope of work, budget, and PI) will be reviewed, accepted, and administered solely by the ASU Foundation.

Governmental Donated Property Property donated or transferred to the institution by a municipality, county, state agency, or the federal government.

Government-Furnished Equipment (GFE) Equipment provided to the university by the federal government or government contractor; title may or may not remain with the government.

Grant Financial assistance mechanism providing funds to carry out a sponsored project. An agreement to transfer money, property, services, or anything of value to accomplish a purpose, such as support or assistance in an area of interest to the grantor. For an award to be considered a grant, it normally will contain the following elements:

1. the statement of work allows the principal investigator significant freedom to change emphasis within the general area of work as the project progresses

2. deliverables are minimal, usually consisting of reports only and

3. separate accounting procedures are required.

Grant and Contract Officer (GCO) An individual who reviews and submits proposals, and/or provides oversight to ensure that ASU meets the terms of awards and all legal and regulatory requirements and/or ensures that all sponsored project fiscal matters are properly addressed.

Grantee Organization or individual awarded a grant or cooperative agreement. When the university accepts a grant award, on behalf of an individual, it becomes the grantee.

"High-Risk" Receivable Any performance-based contract or award from a private, for-profit company with insufficient advance funding to cover current obligations

Human Subjects A living individual about whom an investigator conducting research obtains: 1. Data through intervention or interaction with the individual. 2. Identifiable private information.

Incentive Payment A cash or cash equivalent (such as gift card or course credit) payment to a human subject participant in a research study.

Indefinite Delivery, Indefinite Quantity (IDIQ) A U.S. federal government contracting acronym meaning indefinite delivery/indefinite quantity. This is a type of contract that provides for an indefinite quantity of supplies or services during a fixed period of time.

Identifiable Information Information from which the identity of the subject is or may be readily ascertained or associated.

Indirect Costs (IDC) See Facilities and Administrative (F&A) Costs.

Indirect Cost Rates See Facilities & Administrative (F&A) Cost Rates.

Informal Proposal See pre-proposal.

Informed Consent A person's voluntary agreement (or the subject's legally authorized representative), based upon adequate knowledge and understanding, to participate in human subject research or related activity (ex. undergo a diagnostic, therapeutic, or preventive procedure), before participating in that activity. In giving informed consent, subjects may not waive or appear to waive any of their legal rights, or release or appear to release the investigator, the sponsor, the institution or agents thereof from liability for negligence. The consent must permit the individual (or legally authorized representative) to exercise free power of choice without undue inducement or any element of deceit, fraud, force, duress, or other form of coercion or constraint.

Infrastructure Support Resources available to conduct research, in general, but which are not specifically committed in quantifiable terms to individual sponsored projects.

In-Kind Contribution A non-cash commitment (such as contributed effort, facilities use, or supplies) to share the costs of a sponsored project.

Inquiry Information-gathering and fact-finding to determine whether an allegation or apparent instance of misconduct warrants investigation.

Institutional Authorized Officials Individuals authorized by the Board of Regents to sign grants, contracts, and agreements on behalf of ASU.

Institutional Eligibility The criteria which an institution must meet in order to apply for a funding opportunity. See the topical guide, Institutional Eligibility, for additional information.

Intellectual Property (IP) Intellectual property is a broad term that encompasses the various intangible products of the intellect of inventors. These include patents, trademarks, copyrights, trade secrets, know-how, and other proprietary concepts, including an invention, scientific or technological development, and even computer software and genetically engineered microorganisms.

Institutional Review Board A board or committee organized at the university to provide review at the institutional level for ethical concerns in research, such as laboratory animal care and the use of human subjects in research.

Institutional Certifications Certifications containing organizational data and declarations relating to Arizona State University as an institution. These certifications are used to qualify ASU as an eligible, capable and/or compliant sponsored-project recipient. Institutional Certifications may be required with proposal, but they are not project or PI specific.

Interaction Communication or interpersonal contact between researcher and subject.

Intergovernmental Agreement (IGA) Two or more public agencies, by direct contract or agreement, may contract for services or jointly exercise any powers common to the contracting parties and may enter into agreements with one another for joint or cooperative action, so long as each agency has been authorized by their legislative or other governing body. (A.R.S. § 11-952)

Internal Control A process, effected by an entity's management and other personnel, designed to provide reasonable assurance regarding the achievement of objectives in

1. effectiveness and efficiency of operations

2. reliability of financial reporting and

3. compliance with applicable laws and regulations.

International Agreement Any agreement with a foreign country or an agency of a foreign country (including companies, organizations, or governments), or any agreement in which the university will be acting in a foreign country.

International Traffic in Arms Regulations (ITAR) The ITAR, codified at 22 CFR Parts 120-130, govern the export of articles, services, and related technical data that are inherently military in nature. The U.S. Munitions List (USML) identifies the defense articles, services, and related technical data that are inherently military in character and could, if exported, jeopardize national security or foreign policy interests of the United States. The ITAR are administered by the U.S. Department of State, Directorate of Defense Trade Controls.

International Travel Travel outside of the United States (i.e., the 50 states, the District of Columbia, and U.S. territories and possessions). A trip is considered international travel for all legs of the itinerary if the traveler does not return to his or her post prior to departure for an international destination.

Interrelated Projects Projects supported by multiple Federal awards whose interrelationship is demonstrable on the basis of the following criteria: Either (a) the theoretical approaches are interrelated; (b) studies of the same phenomena are conducted by the same or different techniques; or (c) studies of different phenomena are conducted by the same technique.

Intervention Physical procedure used to gather research data such as a blood test. The term can also refer to manipulating a participant or their surroundings for the purpose of research.

I ntra-University Consulting Pay Per Uniform Guidance (2 CFR 200), since intra-university consulting is assumed to be undertaken as a university obligation requiring no compensation in addition to full-time base salary, the principle also applies to faculty members who function as consultants or otherwise contribute to a sponsored agreement conducted by another faculty member of the same institution. However, in unusual cases where consultation is across departmental lines or involves a separate or remote operation, and the work performed by the consultant is in addition to his[/her] regular departmental load, any charges for such work representing extra compensation above the base salary are allowable provided that such consulting arrangements are specifically provided for in the agreement or approved in writing by the sponsoring agency. See ASU Policy ACD-510-04.

Investigation The formal examination and evaluation of all relevant facts to determine whether misconduct has occurred.

Investigator The principal investigator and any other person ("investigator") who is responsible for the design, conduct, or reporting of research funded in whole or in part by either a public funding entity or a private, for-profit funding entity or that is proposed for funding, in whole or in part, by either.

Investigator Allocation Change (IAC) Investigator allocation changes are an entirely internal process to ASU. As such, they are also known as Internal Allocation Changes (IACs). An IAC is a specific type of Award Change Request and is used to update the allocations of REC/RID/IIA on an active sponsored award in ERA. See WI-EP-130 Manage Change.

Invitation to Bid Written documents soliciting pricing and/or technical proposals to supply goods or services as specified in the requesting document. Correct use of Invitations to Bid constitutes full and open competition. See Request for Proposal (RFP).

Key Professional Personnel Key professional personnel (or key personnel) are all individuals who participate in the scientific development or execution of the project. Typically, key personnel have a Ph.D. Ed.D., or M.D., but may also include the master's or baccalaureate level, provided they contribute in a substantive way to the research.

Knowledge Management System (KMS) A system for managing knowledge in organizations for supporting creation, capture, storage and dissemination of information. The researchadmin website functions as the KMS for Research Operations.

Lead Unit The academic unit to which the tenured or tenure-eligible principal investigator (PI) is assigned. This unit is designated on the faculty or academic professional's Notice of Appointment or Joint Appointment. In the case of a Joint Appointment, an academic school, department or program appointment supersedes a center or institute appointment as lead unit.

Legal-Age Subjects Persons over 18 years, except where research involves the legal age for consumption of alcohol (21 years).

Legal Purpose A contract must have a lawful purpose in order to be enforceable. For example, a contract to manufacture or sell whiskey would not have been enforceable during Prohibition.

Letter of Inquiry Sometimes referred to as a Letter of Intent, a pre-proposal, or a concept paper, the letter of inquiry is sometimes the first step in working with a sponsor. It allows a sponsor to easily determine whether there is a good match between the sponsor's interest and the proposer's project.

Letter of Intent A letter of intent advises a funding agency that an application will be submitted in response to their solicitation. The letter may contain general program information, unofficial cost estimates, and a request for specific application guidelines, instructions and forms.

Limited Submission Occurs when there is a restriction on the number or proposals that an institution may submit to the sponsor for a particular funding opportunity.

Loaned Equipment Property provided by an outside party for use by the institution for sponsored project or research related activities; title to the property does not pass to the university.

Lobbying Certification Applicants for both Federal contracts and Federal grants over $100,000 must certify that no Federal funds were used to pay for lobbying activities. Any non-Federal funds so used, with certain exceptions, must be reported on Standard Form LLL, Disclosure of Lobbying Activities, along with the application. OMB A-21 mandates that the costs of lobbying activities cannot be charged directly or indirectly to Federally-sponsored projects.

Mandatory Committed Cost Sharing Cost sharing required by the sponsor in the application request. It must be quantified in the sponsor award notice, budget, or accompanying narratives. Mandatory cost sharing binds the university to provide and account for resources used in completing the award.

Materials Materials shall mean tangible materials, including but not limited to research tools, biological materials, prototypes, and records used or produced in the course of university research projects.

Material Transfer Agreement An MTA is an agreement between two parties which describes the transfer of materials (i.e. biological and research), how they will be used and responsibilities of each party. There are two types of MTAs: Incoming and Outgoing. Incoming MTAs are agreements for materials transferring from an outside entity to ASU. Outgoing MTAs are agreements for materials transferring out of ASU.

Membership Fees Regular fees or charges paid to an organization, often at regular intervals, in exchange for affiliation and associated benefits. Fees may include membership dues, assessment costs, etc.

Minimal Risk The probability and magnitude of physical, psychological, or social harm that is normally encountered in daily life or in routine medical or psychological examination. In any assessment of degree of risk, the age of the subject must be considered.

Misconduct Fabrication, falsification, plagiarism, and other practices that seriously deviate from those that are commonly accepted within the academic community for proposing, conducting, or reporting research. Instances of honest error and honest differences in interpretations or judgments of data are not considered misconduct.

Misconduct in Science Certification See Certifications.

Modification Any change made to an existing sponsored agreement.

Modified Total Direct Costs (MTDC) F&A is applied to all of the direct costs minus the following: equipment with a unit cost greater than or equal to $5,000, tuition/fees, participant support, in/out patient care costs, rental of outside facilities, amounts over the first $25,000 of each subcontract, and alterations/renovations. Alterations/Renovations are defined as having a cost of $15,000 or more per alteration or renovation. Costs of less than $15,000 are considered a miscellaneous expense.

NACUBO Code An expense classification that was established and defined by the National Association of College and University Business Officers (NACUBO) to improve comparability of data among institutions of higher education. The NACUBO codes classify the major functions of university activity.

National Security Decision Directive 189 The concept of "fundamental research" was established by National Security Decision Directive 189 (http://www.fas.org/irp/offdocs/nsdd/nsdd-189.htm), which established a national policy with regard to how such research should be treated for purposes of the various export control regimes.

No-Cost Extension (NCE) Provides for an additional period of performance to accomplish project goals. May be handled internally via Federal Standards Research Terms & Conditions in certain circumstances or sought externally from the sponsor.

Non-Disclosure Agreement An NDA is an agreement between two or more parties which describes knowledge the parties would like to share with each other for a defined purpose and agree to not disclose information covered by the agreement for a specific period of time. NDAs are also known as Proprietary Information Agreements (PIAs), Confidential Disclosure Agreements (CDAs).

NSF Survey Codes The National Science Foundation survey is the primary source of information on separately budgeted research and development expenditures by academic institutions in the United States and outlying areas. The survey collects information on R&D expenditures by academic field as well as by source of funds.

Obligated The dollars committed by a sponsor in a notice of award or award agreement, releasing funding for project costs incurred in a specific period.

OFAC The Office of Foreign Assets Control, in the U.S. Department of Treasury, administers and enforces economic and trade sanctions based on U.S. foreign policy and national security goals against targeted foreign countries, terrorists, international narcotics traffickers, and those engaged in activities related to the proliferation of weapons of mass destruction.

Offer An offer is a proposal, by one party to another, of intent to enter into a contract on the terms specified in the offer. In Government procurements, and Invitation for Bids (IFB), or Request for Proposals (RFP) constitutes a request by the Government for offers of a certain nature. The bid or proposal submitted in the response to the solicitation is in fact an offer.

Office for Research & Sponsored Projects Administration (ORSPA) The Office for Research and Sponsored Projects Administration (ORSPA) is the division of the Office of Knowledge Enterprise Development (OKED) that provides oversight to ensure that the University meets the terms of awards and all legal and regulatory requirements and that all fiscal matters related to sponsored grants and contracts are properly addressed (including the negotiation of the University's facilities & administrative cost rates). The OKED has designated ORSPA as the final institutional signature required for proposal submission and award acceptance.

Office of Knowledge Enterprise Development (OKED) The Office of Knowledge Enterprise Development (OKED) is responsible for the research programs and other sponsored activities of the university. This office provides leadership in the development of policies and procedures that will enhance the research mission while protecting programs and interests of the university.

Out-of-State Travel Travel within the United States from a point of origin within the State of Arizona to a point of destination outside the State of Arizona and back.

ORSPA Action Form (OAF) The OAF is used for a) change requests; b) requests to establish at-risk accounts; or c) requests for approval of CAS exceptions. This system allows for university approval of administrative, budgeting and spending actions as delegated by certain federal sponsors, and documents the facts pertinent to a request for changes, including the institutional prior approvals.

Pass-Through Entity A non-federal entity that provides a federal award to a subrecipient to carry out a federal program.

Participant An individual who is a recipient of a service or training session in a workshop, conference, seminar, symposium or other information sharing activity funded by an external grant or award. A participant is not involved in providing deliverables to ASU or to a third party

Participant Support Costs Participant support costs are small incentive payments to individual to attend an educational conference, seminar, workshop, or other training event.

Peer Review A process utilized by some federal and private agencies, whereby committees of research investigators in the same area of research or with the necessary expertise (from other institutions) review and recommend applications to the funding agency.

Post-Term Expense A charge that posts to an account after the end date of the sponsored project.

Pre-Proposal Pre-proposals (also referred to as informal proposals, letter proposals, miniproposals, preliminary proposals, pre-applications, concept papers, or white papers) are frequently requested by agencies in order to evaluate potential applicants. Preproposals require the signature of the lead principal investigator and approval by the Research Advancement staff member. If any university contribution/commitment is required, this should be discussed, in advance, with the appropriate parties. Please note that any university contribution/commitment outlined in a preproposal is subject to final review and approval if the preproposal is invited for submission as a formal proposal. Preproposals may take many forms, but typically the agencies request a brief summary (generally 2-5 pages) of the project, personnel, and cost estimate. Informal proposals do not involve a commitment of university resources or a signature on behalf of the university because they are not expected to result directly in an award. The purpose of an informal proposal is usually to inform and interest the potential sponsor reviewing such proposals and to persuade the sponsor to invite the applicant to submit a more detailed formal proposal application.

Principal Investigator (PI) The individual responsible for the conduct of the sponsored project. See PI Eligibility. See RSP 102 for further information on principal investigator eligibility requirements and RSP 103 for detailed principal investigator responsibilities.

Prime Sponsor The external funding source from which funding originated. Example: If NIH funds the University of Washington, which then funds Banner Health, which then funds ASU, ASU's prime sponsor is NIH.

Private, For-Profit Funding Agency Any private partnership, un-incorporated business, sub-chapter S corporation, or corporation to which an application for funding has been made or with which a contract for funding is being negotiated.

Private Information Information that an individual has provided for specific purposes and that the individual can reasonably expect will not be made public, or information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place.

Private Use The direct or indirect use of tax-exempt financed property or tax-exempt financed facilities to provide exclusive benefit to a non-qualified user. Qualified users include state and local government entities and, in some instances, charitable or non-profit organizations as described in the Internal Revenue Code Section 501(c)(3). The term "qualified user" does not include Federal Government or instrumentalities thereof.

For federal awards, if the federal awarding agency does not specify in its regulations or the terms and conditions of the federal award how program income is to be used, program income may be added to the federal award by the federal agency and the non-federal entity. The program income must be used for the purposes and under the conditions of the federal award. Interest earned on advances of federal funds is not program income. Except as otherwise provided in federal statutes, regulations, or the terms and conditions of the federal award, program income does not include rebates, credits, discounts, and interest earned on any of them. For more details on program income, see authoritative references in RSP 101, "General Research Policy."

For non-federal awards, stipulations around program income should be addressed in the sponsor's terms and conditions or by contacting the sponsor through the Grant & Contract Officer.

Project Director See Principal Investigator.

Project Personnel A sponsored project's personnel include the principal investigator, co-investigators, other key personnel, external collaborators and project staff/students. See Key Professional Personnel and Collaborators.

Proposal An application for funding. Any written presentation/application to a potential source of external funds, referred to as a sponsor, for a research or other sponsored project that provides pricing or cost estimates is considered a proposal. All proposals submitted by a university employee to an outside entity that may directly lead to a sponsored project award require initial review and coordination through the Office for Research and Sponsored Projects (ORSPA) prior to submission to a potential sponsor, utilizing a Proposal Routing and Approval Form.

Proposal and Negotiation Team (PNT) The team with authority to review and submit proposals, as well as to negotiate and execute awards and subawards.

Proposal Revision Any substantive change made by the principal investigator to the proposal after submission to a potential sponsor and before an award has been received.

Proprietary Information Research sponsored by non-governmental entity or individual that involves restrictions on the distribution or publication of the research findings or results following completion, for a specified period or for indefinite duration.

Public Agencies The federal government, any federal department or agency; all agencies, departments, boards, and commissions of the state of Arizona; counties; school districts; cities; towns; municipal corporations; and any other political subdivisions, including Indian tribal councils, of the state of Arizona or any other state.

Public Funding Entity Any public agency to which an application for funding has been made, or from which a grant has been received.

R

Reasonable Cost A cost may be considered reasonable if the nature of the goods or services acquired or applied, and the amount involved, reflect the action that a prudent person would have taken under the circumstances prevailing at the time the decision to incur the cost was made.

R ebudgeting Process by which funds available for spending are reallocated between budget categories to allow best use of funds to accomplish project goals.

Recognition The institutional measurement that provides credit to investigators for their sponsored projects activities.

Re-Export An actual shipment or transmission of tangible items, software, or information subject to export control regulations from one foreign country to another foreign country. The export or re-export of controlled tangible items, software, or information that will transit through a country or countries, or will be unloaded in a country or countries for reloading and shipment to a new country, or are intended for re-export to the new country, are deemed to be exports to the new country.

Regular Employee An employee who is employed to work for a period of six or more months at a minimum of 50 percent FTE.

Release Technology, software, or technical data is "released" for export through:

1. visual inspection by a foreign national of U.S.-origin equipment, facilities, or documentation

2. oral or written exchanges of information in the United States or abroad or

3. the application to situations abroad of personal knowledge or technical experience acquired in the United States.

Renewal (proposal type) Additional funds to continue an existing project under a new, separate award.

Research Interpreted in RSP 210, "Misconduct in Research," to include scholarship and creative work, as well as scientific research.

Research Advancement Administrator (RA) An individual who works with investigators to identify funding opportunities, develop proposals, and/or manage sponsored funds.

Research and Related Activities All formal investigative efforts (whether funded or unfunded) by faculty, students, and staff that are designed to develop or contribute to generalized knowledge, including analyses of secondary data.

Research & Sponsored Projects Policy Manual (RSP) Provides policies and procedures relating to funded and unfunded research for all ASU faculty and staff involved in research at ASU.

Research Incentive Distribution (RID) A percentage of the Facilities & Administrative costs recovered from sponsors by ASU that is returned to the responsible college and Provost-approved ABOR Centers as research incentive funds.

Respondent The researcher accused of misconduct.

Resubmission An unfunded application that is being modified following initial review and which will be resubmitted for new consideration.

Request for Applications (RFA) Announcement of funding opportunity for applications which address a defined research topic. The resultant award is a grant or cooperative agreement.

Request for Proposals (RFP) Official solicitation that communicates what a sponsor needs to buy/acquire and formally invites the submission of proposals. The resultant award is a contract.

Revision (supplemental funds) Proposal tied to an award modification to add funding directly to an existing award. For example: Application for additional funds to a current award (i.e., supplement requests or continuations) or a sponsor-initiated modification to add funds to a current award. (May also be referred to as a 'Rev FP' or 'Rev Proposal').

Salary Compensation on a regular basis for work and services accomplished.

Select Agent The Select Agent and Toxin Program was established in its current form as part of the Patriot Act following the 2001 anthrax incidents. The program governs the use of all biological organisms or toxins that could potentially be used as agents of bioterrorism and is administered and overseen by the Center for Disease Control (CDC). The program requires that institutions that conduct research with any of these organisms/toxins register as participants of the program with the CDC. Each institution applying for participation must provide to the CDC information regarding the available layers of security, training, and medical surveillance. Prior to granting approval for participation, the CDC inspects each institution's facilities and standard operating procedures. This inspection is repeated every two to three years, or if the institution changes any major aspect of its program.

Sensitive but Unclassified Information (SBU) SBU is information of a character such that its disclosure, loss, misuse, alteration, or destruction could adversely affect national security or other interests of the federal government. National security interests are those unclassified matters that relate to the national defense or the foreign relations of the U.S. government. Other government interests are those related, but not limited to, a wide range of government or government-derived economic, human, financial, industrial, agricultural, technologic, and law enforcement information, as well as the privacy or confidentiality of personal or commercial proprietary information provided to the U.S. government by its citizens.

Significant Financial Interest Anything of monetary value, including but not limited to, salary or other payments for services (e.g., consulting fees or honoraria); equity interests (e.g., stocks, stock options, private equity, or other ownership interests), venture or other capital financing, and intellectual property rights (e.g., patents, copyrights, and corresponding royalties). The term does not include:

1. salary, royalties, or other remuneration from ASU

2. any ownership interests in the institution, if the institution is an applicant under the Small Business Innovation Research Program or Small Business Technology Transfer Program

3. income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities

4. an equity interest that when aggregated for the investigator and the investigator's spouse and dependent children meets both of the following tests: (i) does not exceed $10,000 in value as determined through reference to public prices or other reasonable measures of fair market value, and (ii) does not represent more than a three percent ownership interest in any single entity; or salary, royalties, or other payments (excluding dividends) that, when aggregated for the investigator and the investigator's spouse and dependent children over the next 12 months, are not expected to exceed $10,000.

Single Source Acquisition Issuing an award to a subcontractor without full and open competition. This may be done if an award is the result of a collaboration (where the ideas, concepts, and methodology were developed by the two parties jointly). There are restrictions on the use of this means of procurement and documentation must show justification for using single source acquisition.

Site Visit An agency review of a sponsored project at the University.

SmartForm ERA SmartForms are like wizards. They guide a user through the process of editing a project, such as a funding proposal (FP) or award (AW).

Sole Source Acquisition A procurement that does not provide full and open competition, but is effected because only one source is available.

Solicited Proposal An application submitted by interested, eligible faculty or staff in response to a specific program announcement or call for proposals issued from a sponsor.

Special Purpose Equipment Equipment which can be used only for research, scientific, or other technical activities.

Sponsor An external funding source which funds a project with an award. Sponsors include private businesses, corporations, foundations and other not-for-profit organizations, other universities, and federal, state and local governments.

Sponsored Project A sponsored project is any externally funded activity for which there is a: 1) specific statement of work that is expected to be completed within a defined period of time; 2) a budget; and 3) a designated principal investigator (PI) or program director (PD). A sponsored project may support university activities including but not limited to research, training, travel, conferences, instruction, public service, and construction. Sponsored projects are funded by numerous funding sources, including charitable grants. These can be under a grant, contract, cooperative agreement, purchase order, or any other mutually binding agreement that restricts the use of funds or property and stipulates conditions with which the university must comply.

Stipend Payments made for periodic or fixed disbursements awarded to students. To a research administrator, the term "stipend" typically refers to payment for an individual (student or non-university employee) who is attending a conference/workshop or to someone on a training grant or fellowship. Since stipends paid for services rendered are considered wages under IRS regulations, it's really important to make sure that the investigators who tend to use the terms "salary" and "stipend" interchangeably understand the difference between the two. Per the March 1, 2007 Policies and Practices: Compensation, Effort Commitments, and Certification issued by the Council on Governmental Relations (COGR), "...if a graduate student is receiving compensation (salary) for services performed on a grant, this effort should be certified. If the student is receiving a stipend, the conventional wisdom is that this is educational assistance (i.e., student aid), and this activity need not be certified through an effort report." Per the NIH Grants Policy Statement (revised 10/2010), a stipend is defined as "a payment made to an individual under a fellowship or training grant in accordance with pre-established levels to provide for the individual's living expenses during the period of training. A stipend is not considered compensation for the services expected of an employee."

Subaward (Subcontract) An agreement issued under an award mechanism between Arizona State University and another organization to perform a substantive portion of an awarded grant's (or contract's) scope of work. It does not include payments to a contractor for the procurement of goods and services or payments to an individual that is a beneficiary of sponsored program. A subaward may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract.

Subrecipient (Subawardee or Subcontractor) A third-party organization that receives funding support from Arizona State University to collaborate in carrying out the performance of an externally sponsored project. The subrecipient plays an integral role in the project and is responsible for programmatic decision-making.

Suitable Means of Verification Includes but is not limited to: first-hand observations of the work being performed, written confirmation from the individual, physically verifiable information, notebooks, and/or sign-in sheets.

Supplemental Pay Compensation for work performed for a different department or different duties beyond normal work assignment.

Supplemental Proposal Additional support requested to assure adequate completion of the original scope of work.

System to System The ERA includes an SF424 component designed to automate submission to Grants.gov. This System to System (S2S) process includes:

search for and download funding opportunities from Grants.gov;

the complete set of SF424 Research and Related (R&R) forms available for submission;

PDF application generation, allowing the user to view a completed SF424 as the agency would;

submit application to Grants.gov and receive a tracking number;

manage and verify validation with the granting agency.

Technology and Research Initiative Fund (TRIF) Proposition 301, passed by the voters of Arizona in November, 2000, authorizes a 0.6 percent sales tax increase to support education. Approximately 20 percent of the funding will be spent on research related to the New Economy in Arizona's three universities. Proposition 301 research funds are formally referred to as the Technology and Research Initiative Fund (TRIF) and are administered by the Arizona Board of Regents (ABOR).

Tuition Is typically considered the amount of money charged to students for instructional services. Tuition may be charged on a per-term, per course, or per-credit basis.

Tuition Remission What exactly does this mean and is it the same thing as "tuition?" The two are not interchangeable terms although they are often used that way. "Tuition Remission" usually refers to the process by which the institution foregoes collecting the full tuition for a graduate research assistant appointment. There is no intent to collect the value of the tuition charge from the student on tuition remissions. Per OMB Circular A-21, Section J.10.f.(2): "Fringe benefits in the form of employer contributions or expenses for social security, employee insurance, workmen's compensation insurance, tuition or remission of tuition for individual employees are allowable, provided such benefits are granted in accordance with established educational institutional policies, and are distributed to all institutional activities on an equitable basis." Tuition remission is often treated as part of the compensation paid to a graduate student working on a sponsored project. On the other hand, "tuition" is typically considered the amount of money charged to students for instructional services. Tuition may be charged on a per-term, per course, or per-credit basis. Therefore, while they sound similar, they are usually budgeted differently on a proposal, expensed differently on a sponsored account, be subject to F&A costs if part of graduate student's compensation (fringe benefits), yet not be subject to F&A if part of a training grant or fellowship. Knowing the difference between the two, and being able to describe that clearly to a PI is important so that, for example, you aren't charging tuition on a research project (usually not allowed) vs. on a training grant (allowed).

Uncompensated Effort Effort expended by PI's and/or key personnel on a sponsored project that the sponsor does not compensate and/or require and is not considered a form of cost sharing.

Uniform Guidance Common term used when referring to 2 CFR 200 implemented by Federal agencies on 12/26/2014 to govern the expenditure of Federal awards. 2 CFR 200 replaces OMB Circulars A-21, A-110 and A-133 in addition to five other OMB circulars.

University Staff University staff is an employment category comprised of non-academic staff and administrators. University staff are employed at will. As an at-will employee, university staff and ASU are entitled to terminate the employment relationship at any time and for any reason except an unlawful one.

Unsolicited Proposal A request for support submitted to a sponsor or donor without formal solicitation from the funding entity.

Vendor An individual, business or other entity which supplies products or services to the University.
Voluntary Committed Cost Sharing that is NOT required by the sponsor but is included in the proposal budget, budget narrative, and/or quantified in the proposal narrative. Like mandatory cost sharing, voluntary committed cost sharing binds the university to provide and account for resources used in completing the award. Voluntary Uncommitted Cost Sharing Represents effort above and beyond commitments made in the proposal. It is not required by the sponsor and is not included in the proposal budget or budget justification. There is no contractual commitment by the university, nor is it tracked by the university. BACK TO TOP W Waived Prior Approval Authority Policy implemented by some federal granting agencies that delegates certain prior approval authorities to grantee institutions. This delegation allows for internal university approval of administrative and spending actions, thus avoiding delays in project progress. Work Instruction (WI) Describes the steps to be taken to complete a task. Workplace All property owned, leased, or controlled by ASU where university work is performed. BACK TO TOP AAALAC Association for the Assessment and Accreditation of Laboratory Animal Care AAU American Association of Universities ABOR Arizona Board of Regents ACO Administrative Contracting Officer ACUC See IACUC ADCRC Arizona Disease Control Research Commission ADPE Automatic Data Processing Equipment AICPA American Institute of Certified Public Accountants AMT Award Management Team APHIS Animal and Plant Health Inspection Service ARPA Advanced Research Projects Agency A.R.S. Arizona Revised Statutes ASPM Armed Services Pricing Manual ASPR Armed Services Procurement Regulations AUTM Association of University Technology Managers BAA Broad Agency Announcement BAFO Best and Final Offer BOA Basic Ordering Agreement CAS Cost Accounting Standards COI Conflict of Interest Co-PI Co-Principal Investigator CR Cost Reimbursement CRADA Cooperative Research and Development Agreement CTR Cost Transfer Request (Non-Payroll) ER Effort Report ERA Enterprise Research Administration System ERE Employee Related Expenses F&A Facilities and Administrative Costs FAR Federal Acquisition Regulations FOA Funding Opportunity Announcement FP Fixed Price FP Funding Proposal (as referenced in the ERA system) GCO Grant and Contract Officer GFE Government-Furnished Equipment IACUC Institutional Animal Care & Use Committee IDIQ Indefinite Delivery, Indefinite Quantity IAC Investigator Allocation Change (or Internal Allocation Change) IAG Industry Agreements Group IGA Intergovernmental Agreement IIA Investigator Incentive Award IP Intellectual Property IRB Institutional Review Board MTDC Modified Total Direct Costs NCE No-Cost Extension NCURA National Council of University Research Administrators NORDP National Organization of Research Development Professionals OAF ORSPA Action Form OKED Office of Knowledge Enterprise Development ORIA Office of Research Integrity and Assurance ORSPA Office for Research & Sponsored Projects Administration PA Program Announcement PAF Personnel Action Form PD Project Director PI Principal Investigator PNT Proposal and Negotiation Team RA Research Advancement RAS Research Advancement Services RD Payroll Redistributions (payroll cost transfers) ResOps Research Operations RFA Request for Applications RFP Request for Proposal RIA Research Incentive Award RID Research Incentive Distribution RSP Research & Sponsored Projects Policies and Procedures Manual SOW Statement of Work SRA Society of Research Administrators International T DC Total Direct Costs BACK TO TOP

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Activity Distribution Report (ADR) See Effort Report (ER). ADR's were used to document effort prior to the 2007 establishment of the current Effort Reporting System within PeopleSoft. Advantage The legacy centralized information system that processed purchasing / financial documents, provided financial status updates and used to produce monthly accounting reports.

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The purchasing procedure guide is a tool to assist employees with issues related to the PUR manual. It provides the procedural steps for effective and compliant procurement. View the Procurement Quick Reference Guide. ASU staff may use ProcureBot to ask a procurement question.

Best practices
General purchasing guidelines
Use the correct way to purchase goods and services for ASU and be a good steward of the public's resources. The following guides cover spending authority, financial responsibility, purchasing methods, what you can and cannot buy, and more:

Federal procurement

Orders and requisitions

Quick guides

ASU staff may use ProcureBot to ask a procurement question.

Contract Types and Responsibilities - KE Operations and Procurement.

Covid-19 FMS Ordering Process.

Prepayment authorization.

Records Retention Table.

Sole source.

Speaker, Artists, Performers.

Speaker, Artists, Performers and Service Providers and Volunteer document needs.

Speaker, Artist, Performer Agreement Amendment Instructions.

Speaker, Artist, Performer Agreement Amendment Template.

Speaker, Artist, Performer Agreement Termination Letter Instructions.

Speaker, Artist, Performer Agreement Termination Template.

Supplier set-up

Suppliers must be set up in the Financial Management System to receive purchase orders and payments. Prior to conducting business with a supplier, verify whether the supplier exists in Workday.

There are two ways for suppliers to register:

1. Companies register through a secure portal by responding to the questions and attaching requested documents, such as W9's.

2. Individuals register by completing a one-page form that is accessed through Adobe Sign.

If a supplier needs to be set up, the department may initiate the supplier registration process:

Determine the appropriate registration link:

For companies, locate the Supplier Set Up Company Portal Link Email Template on the Purchasing tab of the forms webpage.

For individuals, locate the Supplier Set Up Individual Link Email Template on the Purchasing tab of the forms webpage.

Invite the supplier to register:

Copy and paste the information from the template into an email and send to the supplier.

A link to the appropriate supplier registration instructions is included in the template.

Do not forward the template to the supplier.

Once the supplier is set up in the FMS:

If a purchase order is required, submit a requisition for the purchase, with the Supplier Field completed. Your requisition will be routed to Procurement and a Buyer will review the requisition and issue the purchase order to the supplier; or

If the purchase type is listed on the non-PO list, submit the required information to complete payment to the supplier, based on instructions provided in the non-PO list.

If you want Procurement to take care of the supplier registration, skip the steps above and:

Submit a requisition if a purchase order is required for the purchase. Leave the Supplier Field blank. In the Internal Memo field of the requisition; provide the supplier:

Contact name.

Name.

Email.

Phone number.

New supplier justification.

When the supplier is approved and created in Workday, the Buyer will process the requisition and the corresponding purchase order will be sent to the supplier.

If the purchase type is listed on the list of purchases not requiring a purchase order, complete the supplier request form by providing all requested information. Procurement will send the supplier the appropriate registration link.

When the supplier is approved and created in Workday the department will submit the required information to complete payment to the supplier, based on instructions provided in the non-PO list.

Upon successful completion of the supplier registration, it routes internally to the Supplier Administration, Tax Services and the Supplier Management for review and final approval.
Supplier Status
To see if a supplier is set up or check the status of a supplier in the FMS, try the following:

Find Supplier Report.
From the Workday homepage, type in Find Supplier in the Search field, click on Find Supplier Report, type in the name of the supplier in the Supplier Name field, or choose to search by other fields, click Ok. If the supplier is active in the system, their information will appear.

General FMS search.
From the Workday homepage, type the supplier name in the search field indicated by the magnifying glass.

Supplier Detail Report.
From the Workday homepage, type in Supplier Detail in the search field, click on the Find Supplier Detail Report, type in the name of the Supplier in the Supplier Name field, or choose to search by other fields, click Ok. The results will appear, and scroll to the right to view the supplier status.

If the supplier is not listed in the search results, the supplier is not registered.

Due to designated Workday roles, you may not be able to view all of these Workday reports.

Email Supplier Admin for expedited registration or status related questions.

For purchase related questions, email Procurement.

Terms and conditions

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Procurement guide | Arizona State University

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The purchasing procedure guide is a tool to assist employees with issues related to the PUR manual. It provides the procedural steps for effective and compliant procurement. View the Procurement Quick Reference Guide. ASU staff may use ProcureBot to ask a procurement question.

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What You Need to Know

General

The ASU Travel Guide provides detailed information on:

Foreign travel insurance

Getting approval

International travel

Travel in sanctioned countries

Travel regulations

Travel reimbursement

Traveler's health

World travel links

An ASU authorizing travel official must approve all foreign travel. With the exception of estimating lodging and meal expenses, preparation of the Travel Authorization form for foreign travel does not differ from regular out-of-state travel authorization procedures:

FIN 501: ASU Travel Policy

In addition to ASU approval, foreign travel on sponsored projects often requires sponsor approval. As such, it should be included in the proposal. If included in the proposal, the sponsor is considered to have been notified. However, the sponsor may still require their written approval before ASU can proceed with making travel arrangements. Refer to the award's terms and conditions to determine the sponsor's foreign travel requirements. Remember to request any approvals required far enough in advance so there is enough time to make the travel arrangements.

When planning foreign travel on a sponsored project, depending upon the destination, additional costs may need to be budgeted for danger pay, security, extraction and gap insurance coverage. It is recommended countries with a State Dept warning warrant specific review for additional safety/security costs that should be (if allowable) budgeted for in the proposal. For questions regarding budgeting these costs in the proposal, please work directly with the assigned PNT GCO.

In addition to ASU approval, foreign travel on sponsored projects often requires sponsor approval. As such, it should be included in the proposal. If included in the proposal, the sponsor is considered to have been notified. However, the sponsor may still require their written approval before ASU can proceed with making travel arrangements. Refer to the award's terms and conditions to determine the sponsor's foreign travel requirements. Remember to request any approvals required far enough in advance so there is enough time to make the travel arrangements.

In order to mitigate risks to travelers' health and safety and to ensure timely approvals, the traveler or their delegate should ensure that the foreign travel request is submitted more than one week prior to the departure date. The process requires step-by-step approvals by several individuals, which can lead to time delays. In addition, notifications to the subsequent approver between these steps is not immediate which adds time delay.

All ASU students (and faculty/staff members accompanying students) participating in university-related travel outside of the United States and its territories must register in the International Travel Registry.

Individuals who are traveling internationally may want to enroll in the Smart Traveler Enrollment Program (STEP) offered through the U.S. Department of State. The program offers the traveler:

Important information from the US Embassy regarding safety conditions of the destination country

Assists the U.S. Embassy in being able to contact you in an emergency, whether a natural disaster, civil unrest, or family emergency

In the event of an emergency, provide help contacting family and friends

The program is free and takes only a few minutes to enroll. In addition to enrolling in STEP, it is advisable you provide your department and family emergency contact information in addition to your cell number. This simple tool provides an additional method in managing the safety and well-being of the traveler.

Travel to most countries does not usually constitute an export control issue. It depends on several factors, including the destination, the equipment the traveler is taking with, and the purpose of the trip. ORIA's Exports & Security webpage has detailed information on export controls and foreign travel.

Best Practices for Complying with the Fly America Act

Generally, all international airfare charged to federally-funded projects must be taken on US flag air carriers however exceptions could apply and use of those exceptions must be documented. The following process will aid in verifying compliance with the exceptions of the Fly America Act. Consultation with your business office may be required as compliance with the Fly America Act is the responsibility of each department.

1. Verify the funding type the international airfare will be charged to. The Fly America Act only applies to federally-funded sponsored projects. Therefore, unless a non-federal award requires compliance with the Fly America Act, international airfare purchased on non-federal funds only need to comply with ASU travel policy.

2. Book international airfare through a US flag air carrier, such as American Airlines, United Airlines, US Airways, Delta Airlines or Alaska Airlines. The reason for this is the US flag air carrier will show their two-letter designator code on the tickets where they have a code share agreement with the foreign airline. If no code share exist move onto step 3 otherwise move onto step 4.

Click HERE for more information on Code Sharing.

3. For foreign destinations which cannot be reached directly by a US flag air carrier or a code share agreement doesn't exist, determine if an Open Skies Agreement is in place with destination country:

3.1 Confirm the international airfare is not being charged to a Department of Defense (DOD)-funded project. For airfare not funded by a DOD award, move onto step 3.2, otherwise move onto step 3.1.1.

3.1.1 Airfare funded by the DOD must be on a US flag air carrier or comply with the code share exemption. Airfare can be paid with non-DOD funds or written approval from the sponsor must be obtained in the event it's necessary to fly on a foreign air carrier funded by a DOD award.

3.2 Confirm no city pair fare exist by reviewing the fare finder. For the Departure City, enter City Code "WAS" and pick the appropriate Arrival City.

If a city pair contract appears, book the airfare through the airline referenced. Keep in mind that the fares referenced are for US government use only. Move onto step 4.

If no city pair exist the fare finder response reads "Awards not found for the given criteria". Move onto step 3.3.

3.3 Confirm the destination's state is listed on the Open Skies Agreements page. If the destination's state is listed, you may book your travel from the US to that country or between countries (on the Open Skies Partners list). Keep in mind that a US flag air carrier must be used to the maximum extent possible on the route. If your destination's state is not listed, move onto step 3.4 otherwise move onto step 4.

3.4 If your destination is not listed on the Open Skies Agreements page, using the Certification of Exception to Fly America Act as guidance, book your flight in compliance with the exceptions listed on the certification.

4. For exceptions applied from steps 2 and 3, complete the Certification of Exception to Fly America Act. Attach copies of itinerary, tickets and boarding passes for all legs of the trip, and keep these documents with your travel authorization. The form and documentation does not need to be submitted to ORSPA.

Frequently Asked Questions about the Fly America Act
What is the Fly America Act?
The Fly America Act ( 49 U.S.C. 40118, pp. 52-53) provides that Federal domestic grantees should use U.S. flag air carriers to the maximum extent possible when commercial air transportation is the means of travel between the U.S. and a foreign country or between foreign countries. NOTE: Canada and Mexico are considered foreign countries. This requirement shall not be influenced by factors of cost, convenience, or personal travel preference.

What airlines are considered U.S. flag air carriers?
A list of certificated U.S. Air Carriers can be found at http://www.dot.gov/policy/aviation-policy/certificated-air-carriers-list. A US Flag air carrier's service may include service provided under a Code Share Agreement.

What are the common exceptions to the Fly America Act?
The commonly used exceptions to the Fly America Act are use of Code Sharing and Open Skies Agreements.

Are there other exceptions to the Fly America Act?
Yes. Exceptions to the Fly America Act are detailed in full in the GSA Federal Travel Regulation (FTR), Chapter 301 - Temporary Duty (TDY) Travel Allowances (see §§ 301-10.131 through 301-10.143).

Use of U.S. flag carrier service would extend travel time (including delay at origin) by 24 hours or more.

Costs of transportation are reimbursed in full by a third party, such as a foreign government or an international agency.

U.S. flag carriers do not offer nonstop or direct service between origin and destination. U.S. carrier must be used on every portion of the route where it provides service unless, when compared to using a foreign air carrier, such use would:

Increase the number of aircraft changes outside the United States by two or more.

Extend travel time by at least six hours or more.

Require a connecting time of four hours or more at an overseas interchange point.

When foreign air carrier service is deemed a matter of necessity, the following exceptions apply:

U.S. air flag carrier cannot provide the air transportation necessary or will not accomplish the agency's mission.

Medical reasons, including use of foreign air carrier to reduce number of connections and possible delays in the transportation of persons in need of medical treatment

Avoid unreasonable risk for your safety and is approved by your agency.

When you cannot purchase a ticket in your authorized class of service on a U.S. flag air carrier and a seat is available in your authorized class of service on a foreign air carrier.

What is code sharing?
Code Sharing is a commercial agreement between two airlines that allows an airline to put its two-letter designator code on the flights of another airline as they appear in computerized reservations systems. For example, American Airlines might have an agreement to operate flights for Etihad Airways on an international route. This flight would be listed under American Airlines' designator code (AA) but actually operated by Etihad Airways. See Code Share Fact Sheet for more information.

How is code sharing allowable under the Fly America Act?
To be in compliance with the Fly America Act, the ticket or documentation for an electronic ticket, must identify the US flag air carrier's designator code and flight number generally stated as "US Air Carrier flight XXXX operated by Foreign Air Carrier". For example:

Allowable: American Airlines (AA) 1234 operated by Etihad Airways (EY) 4321

Unallowable: EY 4321 operated by AA 1234

In some code sharing situations, the boarding pass showed the U.S. flag air carrier code, so it's best practice to retain both the ticket and boarding pass for all legs of the trip with the travel authorization.

What is an Open Skies Agreement?
An Open Skies agreement is a bilateral or multilateral air transport agreement to which the U.S. and the government of a foreign country are parties, and which the Department of Transportation has determined meets the requirement of the Fly America Act. Use of a foreign carrier is allowed when transportation is between the U.S. and any point in the agreement member state or between two points outside the U.S. provided that:

More information on Open Skies Agreement can be found at the Department of State website. A full list of Open Skies Partners can also be found on this site.

Is certification required when a foreign air carrier is used?
Yes. If a foreign air carrier is used based on any of the exceptions to the Fly America Act, certification of the exception, as noted in §301-10.142, must be documented along with travel itinerary, tickets, and boarding passes. ORSPA utilizes the Certification of Exception to Fly America Act as part of ASU's internal certification process for exceptions.
Do I need to save copies of my search results for steps 3 and 4 of the Best Practices section before I select any of the other exceptions?
Copies of search results don't need to be included as part of the documentation. The final itinerary should support why the exception(s) were selected.

Work Instructions & Policies

Forms & References

Budget Worksheet - This template includes line items for in-state, out-of-state, and foreign travel. Cells are provided for itemized breakdown of per diem, lodging, transportation, registration, and other costs.

ERA ward Change Request - This activity in ERA is used when change requests are made for such items as budget revisions, including foreign travel.

Proposal Information and Resources - Information is provided on budgeting for travel in proposals.

Certification of Exception to Fly America Act - This form is a statement executed by the traveler justifying the use of a foreign flag air carrier for travel charged to a federally-funded sponsored project.

Training Materials

ASU Fly America Act - Presentation slides from February 11, 2016 Research Operations Seminar Series

MyASU Travel Training - Regularly-scheduled training on ASU's travel system provided by Financial Services

Useful Links

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The ASU Travel Guide provides detailed information on: Foreign travel insurance Getting approval International travel Travel in sanctioned countries Travel regulations Travel reimbursement Traveler's health World travel links An ASU authorizing travel official must approve all foreign travel.

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All air travel and cargo transportation services funded by the federal government are required to use a "U.S. flag" air carrier service. You can find a complete list of certified U.S. flag air carriers on transportation.gov.

This requirement applies to:

Federal government employees and their dependents;

Consultants, contractors, and grantees; and

Other travelers whose travel is paid for by the federal government.

You cannot cross the U.S. border to use a foreign airline to avoid being subject to the Fly America Act. If your travel does not comply with the Fly America Act, the government will not reimburse your airline ticket.

Authority for the Fly America Act comes from 49 U.S.C. 40118.

Codesharing

Occasionally, two or more airlines will "codeshare" a flight by publishing and marketing the same flight under their own airline designators and flight numbers. You can purchase a seat on each airline's designator and flight number, but the flight is only operated by one of the cooperating airlines. To comply with Fly America regulations, you must purchase the flight via the U.S. airline's designator and flight number if the flight is shared between a U.S. and a foreign airline.

Exceptions to the Fly America Act

There are some circumstances where it's not reasonable to use a U.S. flag air carrier, and you can make an exception to the Fly America Act. These circumstances are:

1. When a U.S. air carrier is not available.

2. When using a U.S. carrier service would extend the travel time by 24 hours or more.

3. When a U.S. carrier does not offer a nonstop or direct flight between origin and destination, and using a U.S. carrier:

Increases the number of aircraft changes outside the United States by two or more;

Extends travel time by six hours or more; or

Requires a connecting time of four hours or more at an overseas interchange point.

4. When the flight time from origin to destination is less than three hours and using a U.S. flag carrier doubles the flight time.

5. When there is an applicable Open Skies Agreement in effect that meets the requirements of the Fly America Act.

The exceptions provided by the Open Skies Agreements for government-funded travel do not apply if your transportation is funded by the Department of Defense (DOD).

Note: Ticket cost and convenience are NOT exceptions to the Fly America Act.

Open Skies Agreements

"Open Skies Agreements" are bilateral or multilateral agreements between the U.S. Government and the governments of foreign countries that allow travelers to use foreign air carriers from these countries for government-funded international travel. Many Open Skies Agreements exist but only (4) four agreements meet Fly America Act requirements which the key factor is the statement for "U.S. Government Procured Transportation: in either the Article or Annex of the agreement.

The United States currently has Open Skies Agreements in effect with:

European Union (28 countries) (Austria, Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, including Iceland and Norway)

Australia

Switzerland

Japan

The agreement with the European Union (EU) permits the use of an EU air carrier for travel outside the United States. Iceland and Norway are not EU members, but are members of the EU air treaty. This is the only one of these four agreements that allows for an origin or destination in a third country as long as the flight stops in the EU.

Note: As of January 1, 2021, The United Kingdom (U.K.) is no longer a member of the EU. Consequently, the Open Skies Agreement with the EU does not pertain to the U.K. Travelers must use a U.S. Flag Carrier to travel from the U.S. to the U.K. and not a U.K. airline (e.g., British Airways), unless they use a different Fly America Act exception. Travelers may continue to use an EU agreement for travel from the U.S. to the U.K. as long as the flight stops in the EU prior to arrival in the U.S. or the U.K.

The agreements with Australia, Switzerland, and Japan permit the use of an Australian, Swiss, or Japanese air carrier for international travel between the U.S. and these countries as long as a " City Pair" fare is not available between the cities of origin and destination.

You can find more information on the four Open Skies Agreements and other specific country agreements on the Department of State's website. You can also find more general information about Open Skies Agreements in Federal Travel Regulation (FTR) Bulletin 11-02 [PDF - 112 KB] and Bulletin 12-04 [PDF - 82 KB] .

Documenting Exceptions

To document a Fly America exception or waiver, including under an Open Sky Agreement, you must include the following information in your travel reimbursement:

1. A completed and signed internal agency Fly America exception form.

2. A detailed travel itinerary from a travel agent or online travel service (i.e. Sanditz, Travelocity, Orbitz, or Expedia).

3. The search results performed at the time of booking from an online travel service that document all available flights and the existence of the Fly America exception identified on the Fly America exception form, if applicable.

If you have other questions about the Fly America Act or Open Skies Agreements, contact travelpolicy@gsa.gov.

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All air travel and cargo transportation services funded by the federal government are required to use a "U.S. flag" air carrier service. You can find a complete list of certified U.S. flag air carriers on transportation.gov. This requirement applies to: Federal government employees and their dependents; Consultants, contractors, and grantees; and Other travelers whose travel is paid for by the federal government.

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About this Data List of Certificated Air Carriers includes addresses, phone numbers, and type of authority held.